DFX Intelligence
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Registered advisor
I••••••• S••••
Feed of 09/14/2026
Also filed as I••• S••••••••• S•••• S••••
At current firm
10 y
since Jul 19, 2016
In the industry
17 y
since Jun 12, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• S••••••• N•••••• independent RIA currentsince Jul 19, 2016 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 31, 2014 to Mar 17, 2016 · Red Bank, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 25, 2013 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerFeb 11, 2010 to Oct 1, 2012 · New York, Ny
- E••••• J•••• national BDJun 15, 2009 to Nov 20, 2009 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••• S••••••• N••••••left Mar 17, 2016, registered Jul 19, 2016 (124 days) · Other
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 25, 2013, registered Jul 31, 2014 (279 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E••••• J•••• to C•••• I••••••••• S••••••• C••••left Nov 20, 2009, registered Feb 11, 2010 (83 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address